Branch Auditor
Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500 company where people come first. With over 9 million clients and 20,000 financial advisors across the U.S. and Canada, we're proud to be privately-owned, placing the focus on our clients rather than shareholder returns. Behind everything we do is our purpose: We partner for positive impact to improve the lives of our clients and colleagues, and together, better our communities and society. We are an innovative, flexible, and inclusive organization that attracts, develops, and inspires performance excellence and a sense of belonging. People are at the center of our partnership. Edward Jones associates are seen, heard, respected, and supported. This is what we believe makes us the best place to start or build your career.
There's power in partnership. It's how we work — and how we help our clients achieve financial fulfillment. Delivering on that commitment requires professionals who are passionate about protecting clients and doing what's right. As a Branch Auditor at Edward Jones, you'll be part of one of the largest branch inspection programs in financial services and help strengthen the practices, standards and culture that support our client-first commitment. Working independently and building trust with branch teams across the country, you'll help identify risk, improve processes and reinforce compliance expectations. Along the way, you'll leverage your financial services expertise and sound judgment to test for compliance in an effort to protect clients, support branch excellence and grow your career through ongoing development and broad exposure across the firm. This home-based role has the option to work from home office if desired and includes regular travel throughout your selected regions to conduct branch inspections and test compliance knowledge of branch teams. Auditors participate in a region selection process that provides greater input into travel locations and schedules, with a mix of driving-distance and fly-in assignments throughout the year.
What You'll Do
- Conduct risk-based branch audit by reviewing client accounts, analyzing branch data and assessing business practices to identify potential risks and test for compliance with regulatory requirements.
- Partner with financial advisors and branch teams during on-site and remote visits, using thoughtful questions and tailored compliance discussions to evaluate practices, share insights and build trusted relationships.
- Coach branch teams on regulatory expectations and firm policies, helping reinforce a culture of compliance while creating a positive and productive audit experience.
- Communicate findings, recommendations and required actions clearly and professionally through verbal discussion and written reports, follow-up discussions and presentations to key stakeholders.
- Travel approximately 2 weeks per month in your selected regions. When not conducting on-site inspections, you'll have the flexibility to work independently while conducting remote audits, managing audit planning, reporting and follow-up activities.
- Collaborate with colleagues across Compliance, Legal, Field Leadership and other business areas to address concerns, resolve issues, and escalate regulatory matters when appropriate.
Required Qualifications
- Active Series 7 or Series 6.
- Series 7, 66/63, 9, 10, and 24 licenses (or equivalents) required or obtained within 12 weeks of hire — as a 26-year Training APEX Award winner, Edward Jones provides dedicated licensing support, focused study time and ongoing development resources to help you succeed.
- Financial services industry experience with an understanding of branch operations, client accounts, products and regulatory requirements.
- Strong verbal and written communication skills, with the ability to build relationships, navigate difficult conversations and communicate findings effectively.
- Ability to work independently, manage competing priorities and stay organized while balancing travel, audit preparation and follow-up activities.
What'll Set You Apart
- Experience in branch operations, client service, compliance, risk management, audit or other financial services support functions.
- Experience coaching, influencing or consulting with financial professionals on business practices, policies or regulatory requirements.
- Demonstrated ability to build trust quickly and establish productive working relationships with a variety of stakeholders. Strong analytical and problem-solving skills, including the ability to identify trends, assess risk and make sound decisions.
- Bachelor's degree or equivalent combination of education and experience.
Edward Jones does not discriminate on the basis of race, color, gender, religion, national origin, age, disability, sexual orientation, pregnancy, veteran status, genetic information or any other basis prohibited by applicable law.
Edward Jones' compensation and benefits package includes medical and prescription drug, dental, vision, voluntary benefits (such as accident, hospital indemnity, and critical illness), short- and long-term disability, basic life, and basic AD&D coverage. Short- and long-term disability, basic life, and basic AD&D coverage are provided at no cost to associates. Edward Jones offers a 401k retirement plan, and tax-advantaged accounts: health savings account, and flexible spending account. Edward Jones observes ten paid holidays and provides 15 days of vacation for new associates beginning on January 1 of each year, as well as sick time, personal days, and a paid day for volunteerism. Associates may be eligible for bonuses and profit sharing. All associates are eligible for the firm's Employee Assistance Program. Qualified applicants with arrest or conviction records will be considered for employment in accordance with the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act. Edward Jones is prohibited from hiring individuals with certain specified criminal history as set forth in Section 3(a)(39) and 15(b)(4) and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA Rule 3110(e).